Our Staff has compiled our research into a database of FINRA Broker Disclosures for Carolina Financial Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Garrick G Ruiz | 5584980 | 1 | 04/12/2021 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Gary Thomas Saykaly | 7858243 | 4 | 06/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Thomas Saykaly | 7858243 | 4 | 05/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Thomas Saykaly | 7858243 | 4 | 02/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Thomas Saykaly | 7858243 | 4 | 01/28/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |